RIA Intelligence
Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.
The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.
W•••••• C•••••• H•••••••••
- L•• F•••••••• L•• BD affiliated currentsince Jun 25, 2024 · Alexandria, La
- P••••••• F•••••••• S•••••••• I••• BD affiliatedJun 15, 2011 to Jul 18, 2024 · Dallas, Tx
- W•••• F•••• A••••••• wirehouseMar 17, 2006 to Aug 27, 2007 · Alexandria, La
- P••••••• F•••••••• S•••••••• I••• to L•• F•••••••• L••left Jul 18, 2024, registered Jun 25, 2024 (-23 days) · Affiliated broker-dealer or bank to another
- W•••• F•••• A••••••• to P••••••• F•••••••• S•••••••• I•••left Aug 27, 2007, registered Jun 15, 2011 (1388 days) · Other
- W•••••• C•••••• H••••••••• left P••••••• F•••••••• S•••••••• I••• for L•• F•••••••• L•• (registered 2024-06-25)Jul 18, 2024 · Advisor changed firm · fact
Mobility scoring is not published yet. The observable conditions this page will draw on once the historical validation is done: tenure, the firm’s own departures and ownership changes, new state registrations, a new adviser entity with this person on Schedule A, and colleagues’ moves. Until precision and lead time are measured on known moves, no label is printed. Read the methodology.
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 26derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address